Richard J. Hoag
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Joseph Hoag, who also goes by Richard J Hoag, Richard Joseph Hoag Jr., was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 7 firms and has passed the Series 63, Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2015 - March 19, 2018
SORRENTO PACIFIC FINANCIAL, LLC
February 11, 2015 - March 19, 2018
SORRENTO PACIFIC FINANCIAL, LLC
February 24, 2014 - November 24, 2014
PNC WEALTH MANAGEMENT LLC
February 21, 2014 - November 24, 2014
PNC WEALTH MANAGEMENT LLC
January 21, 2014 - February 10, 2014
CETERA INVESTMENT ADVISERS LLC
May 2, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
May 1, 2012 - February 5, 2014
CETERA INVESTMENT SERVICES LLC
May 3, 2006 - April 30, 2012
ALLSTATE FINANCIAL SERVICES, LLC
December 3, 2003 - February 16, 2006
BCG SECURITIES, INC.
December 1, 2003 - February 16, 2006
BCG SECURITIES, INC.
April 12, 2002 - December 16, 2003
EQUITABLE ADVISORS, LLC
November 16, 2001 - December 16, 2003
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
